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  • 9. 14 - Actions to be Taken by the Administrator Flashcards
    An Administrator may deny or revoke a security's exemption: A) if the Administrator, in a court of competent jurisdiction, proves that a security does not qualify for an exemption B) if the Administrator determines that an exemption applicable to federal covered securities is inconsistent with state securities law
  • The State Securities Administrator and the Uniform Securities Act
    state securities administrator has the authority to enforce all of the provisions of the Uniform Securities Act (USA) within the administrator’s state The state securities administrator may deny, revoke, or suspend registration of a security, an agent, or a fi rm
  • Series 63 Module 5 – Administrative provisions and remedies
    Administrators can revoke, cancel, suspend or deny a security’s registration This is an option when: A registration statement is filed that is incomplete; A misleading registration statement has been filed; Offerings are made on unfair, unjust, or inequitable terms ; It is a fraudulent offering; The offering fees are that are charged are
  • Series 65 - Unit 12 Quiz #2 Flashcards | Quizlet
    An Administrator may summarily deny or revoke a security's exemption A) if the Administrator, in a court of competent jurisdiction, proves that a security does not qualify for an exemption B) without a hearing if the issuer is given an opportunity for a hearing after the revocation C)
  • Series 63 Exam Training - Mastering The Uniform Securities Act
    The state securities administrator may deny, revoke, or suspend the registration of a security, an agent, or a firm The administrator may also revoke an exemption from registration, subpoena and investigate any registrant, and amend rules as required
  • Series 63 Module 4 - Securities registration, exemptions, and their . . .
    In the public interest, administrators might suspend, deny, or revoke any exemption for a securities transaction without prior notice This, however, isn’t an option with federal covered securities
  • Unit 12 qbank Flashcards - Quizlet
    An Administrator may summarily deny or revoke a security's exemption without a hearing if the issuer is given an opportunity for a hearing after the revocation An administrator can
  • Securities Registration (Denial, Revocation, Suspension) - Quizlet
    The Administrator may summarily deny or revoke the exemption of which type of security? A Non-Profit Charitable Organization Issues B Securities guaranteed by a Canadian province C Federal Credit Union Issues D Insurance Company Issues
  • 63 Exam 1 Incorrect - Quizlet
    Under the Uniform Securities Act, the Administrator may deny or revoke the exemption from registration for which of the following? (3) - A security issued by a nonprofit organization - Investment contracts of employee benefit plans - An exempt transaction not involving a federal covered security
  • Series 63 Flashcards - Quizlet
    Study with Quizlet and memorize flashcards containing terms like National Securities market improvement act of 1934, stop order, who gives a stop order and more





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